Anish Sharma

Last updated
3 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Ragarfield Limited

    FRN 126549

    • 16. Safeguarding and administering investments or holding client money
    • 14. Managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF1 Director (24 Apr 2014 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc

    FRN 195351

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 28 Dec 2012)
    • CF30 Customer (since 1 Nov 2007)
    • CF21 Investment Adviser (6 Feb 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (7 Sep 2005 to 6 Feb 2006)
  • Anish Sharma Wealth Management Limited

    FRN 401058

    • (1)Employed By (since 7 Sep 2005)

Recent activity

Updates to this individual's record on the FCA register.

  1. controlled function removed: Employed By at Anish Sharma Wealth Management Limited

  2. controlled function added: (1)Employed By at Anish Sharma Wealth Management Limited